FINRA’s Recordbreaking Fines and Sanctions of 2015
According to the annual analysis conducted by Sutherland Asbill & Brennan LLP, FINRA increased sanctions in 2015 dramatically. While fines actually dropped, FINRA ordered $96 million dollars in restitution, a whopping increase of 200% over the $32 million ordered in 2014.
With the top enforcement issues for 2015 ranging from administrative or technical issues to failing to meet reporting obligations, it is important to understand how to ensure your compliance and cybersecurity practices meet regulator standards.
In this webinar, Smarsh and law firm Sutherland Asbill & Brennan cover:
- The top 5 regulatory enforcement issues from 2015
- Emerging trends from FINRA and SEC actions, including recent cybersecurity initiatives
- What regulators will be focusing on in 2016